# Disability Research Institute Request for Applications (RFA) (Program Announcement No. SSA-ORES-00-1)

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## Record

- **Collection:** Federal Register
- **Document type:** Notice
- **Published:** October 14, 1999
- **Citation:** 64 FR 55797

## Text

SOCIAL SECURITY ADMINISTRATION

Disability Research Institute Request for Applications (RFA)
(Program Announcement No. SSA-ORES-00-1)

AGENCY: The Office of Research, Evaluation, and Statistics (ORES),
Office of Policy, Social Security Administration (SSA).

ACTION: Request for applications for a cooperative agreement to
establish a Disability Research Institute (DRI).

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SUMMARY: The Social Security Administration's disability programs play
a vital role in society, paying benefits to over 8 million disabled
individuals. It is essential that the nation invest in research
designed to examine the disability programs and ensure that these
programs are designed effectively to improve the lives of disabled
Americans. The Social Security Administration plans to establish a
Disability Research Institute (DRI). This institute would help fill the
need for more extensive research in the disability area for
policymakers around the country. The DRI is an important initiative on
the part of SSA's Office of Policy to strengthen the Agency's research
capacity since it became independent in 1995.
Authorized under section 1110 of the Social Security Act, SSA
announces the solicitation of applications for a cooperative agreement
to create a DRI in order to inform the public and policymakers about
disability policy alternatives and their consequences. Initially, we
anticipate the Institute will be one, university-based, multi-
disciplinary center. The Institute will have an annual budget
consisting of $1.25 million for the first year and $1 million per year
for subsequent years. SSA expects to fund this Institute for a period
of 5 years, contingent upon a successful annual review process,
continued funding availability and continued relevance to SSA
initiatives. The grantee is strongly encouraged to collaborate with
SSA's and other government-related research and development activities
to avoid duplication of research. After award, SSA will help identify
such activities and their funding agencies and facilitate any
collaboration as necessary.

PURPOSE: This announcement seeks applications to establish a DRI that
will serve as a national resource fostering high quality research,
communication, and education. The Institute's program purpose is to
benefit the public through four tasks:
(1) Research and evaluation. The DRI will be expected to plan,
initiate, and maintain a research program of higher caliber. There will
be special emphasis on research that will inform the debate on
disability policy.
(2) Dissemination. The DRI will develop resources to inform the
academic community, policymakers, and the public on issues concerning
disability policy.

[[Page 55798]]

(3) Training and education. The DRI will develop a professional
training program including, but not limited to, graduate and
postgraduate education; intramural exchanges and formal instruction of
policymakers which focuses on the issues of disability policy.
(4) Facilitation of data usage. The DRI will facilitate research
using SSA administrative data.

DATES: The closing date for submitting applications under this
announcement is January 12, 2000.

FOR FURTHER INFORMATION CONTACT: To request an application kit, and for
general (nonprogrammatic) information regarding the announcement or
application package contact: E. Joe Smith, Grants Management Officer,
SSA, Office of Acquisition and Grants, Grants Management Team 1-E-4
Gwynn Oak Building, 1710 Gwynn Oak Avenue, Baltimore, Maryland 21207-
5279. The fax number is (410) 966-9310. The telephone numbers are E.
Joe Smith, (410) 965-9503 (e-mail: [email protected]), or Dave
Allshouse, (410) 965-9262 (e-mail: [email protected]), or Gary
Stammer, (410) 965-9501 (e-mail: [email protected]). For information
on the program content of the announcement/application, contact: Paula
Laird, Project Officer, SSA, ORES, 6401 Security Blvd., 4-C-15
Operations Building, Baltimore, Maryland 21235. The fax number is (410)
965-3308. The telephone numbers are (410) 965-9243 (e-mail:
[email protected]), or Nelson Rambath, Alternate Project Officer,
(410) 965-2396 (e-mail: [email protected]).

Table of Contents

Part I--Supplementary Information

A. Eligible Applicants
B. Type of Award
C. Availability and Duration of Funding
D. Letter of Intent

Part II--Establishment of a Disability Research Institute--
Responsibilities of the Institute and the Federal Government

A. Priority Research Areas
B. Cooperative Agreement Responsibilities
1. Institute Responsibilities
2. SSA Responsibilities
3. Joint Responsibilities
C. Special Requirements

Part III--Application Preparation and Evaluation Criteria

A. Content and Organization of Technical Application
B. Review Process and Funding
C. Selection Process and Evaluation Criteria

Part IV--Application Forms, Completion and Submission

A. Availability of Application Forms
B. Components of a Complete Application
C. Application Submission
D. Notification

Part I--Supplementary Information

A. Eligible Applicants

SSA seeks applications from domestic universities or other post-
secondary degree granting entities. For-profit organizations may apply
with the understanding that no cooperative agreement funds may be paid
as profit to any cooperative agreement recipient. Profit is considered
as any amount in excess of the allowable costs of the award recipient.
In accordance with an amendment to the Lobbying Disclosure Act,
popularly known as the Simpson-Craig Amendment, those entities
organized under section 501(c)4 of the Internal Revenue Code that
engage in lobbying are prohibited from receiving Federal cooperative
agreement awards.

B. Type of Award

All awards made under this program will be made in the form of
cooperative agreements. A cooperative agreement, as opposed to a grant,
anticipates substantial involvement between SSA and the awardee during
the performance of the project. A comprehensive annual review process
will allow SSA to evaluate, recommend changes, and approve the
Institute's activities. This involvement may include collaboration or
participation by SSA in the activities of the Institute as determined
at the time of award. The terms of award are in addition to, not in
lieu of, otherwise applicable guidelines and procedures.

C. Availability and Duration of Funding

1. ORES has available $1.25 million to fund the initial 12-month
budget period of a proposed five-year cooperative agreement pursuant to
this announcement. (Additional funding up to $1 million per year for
related projects, as requested by SSA, might become available from SSA
for further support of the Institute selected under this announcement.)
2. Applicants must include separate budget estimates for each of
the five years, if they expect funding levels to be substantially
different in subsequent years.
3. The amount of funds available for the cooperative agreement in
future years has not been established. Legislative support for
continued funding of the Institute cannot be guaranteed and funding is
subject to future appropriations and approval by the Commissioner. SSA
expects, however, that the Institute will be supported during future
fiscal years at an annual level of $1 million.
4. The Institute should prepare a five-year proposal with a maximum
budget of $5.25 million.
5. Additional funds up to $1 million per year may become available
from SSA and/or other Federal agencies (through co-funding) in support
of the Institute's projects.
6. Initial awards, pursuant to this announcement, will be made on
or about April 11, 2000.
7. The awardee shall share in the cost of the project. SSA will not
provide total funding to the Institute. Recipients of an SSA
cooperative agreement are required to contribute a non-Federal match of
at least 5 percent toward the total approved cost of the project. The
total approved cost of the project is the sum of the Federal share
(maximum of 95 percent) and the non-Federal share (minimum of 5
percent). The non-Federal share may be cash or in-kind (property or
services) contributions.
Although one award is anticipated, nothing in this announcement
restricts SSA's ability to make more than one award, to make an award
of lesser amount, or to add additional entities, institutions or
universities to the Disability Research Institute in the future.

D. Letter of Intent

Prospective applicants are asked to submit by November 29, 1999, a
letter of intent that includes (1) this program announcement number and
title; (2) a brief description of the proposed Institute; (3) the name,
postal and e-mail addresses, and the telephone and fax numbers of the
Institute's Director; and (4) the identities of the key personnel and
participating institutions. The letter of intent is not required, is
not binding, and does not enter into the review process of a subsequent
application. The sole purpose of the letter of intent is to allow SSA
staff to estimate the potential review workload and avoid conflicts of
interest in the review. The letter of intent should be sent to: DRI
Letter of Intent, Social Security Administration, Office of Research,
Evaluation and Statistics, Division of Disability Research, 6401
Security Blvd., 4-C-15 Operations Bldg., Baltimore, MD 21235.

Part II--Establishment of a Disability Research Institute--
Responsibilities of the Institute and the Federal Government

A. Priority Research Areas

The Institute should focus on several themes or research areas
directly relevant to developing or improving

[[Page 55799]]

policy related to people with disabilities. Research will be done from
existing data sources, and will not include development of surveys or
demonstration projects.
The successful applicant shall develop and conduct a research
program directed towards people with disabilities that also
appropriately balances development of training, information
dissemination and data usage facilitation activities. The research
approach should relate, in broad terms, to the Social Security
Disability Insurance (SSDI) and Supplemental Security Income (SSI)
programs. The purpose of these activities is to promote greater
understanding of disability policy and its current and future impact on
youth, the working-aged and the near-retirement aged segments of the
disabled populations. The research should address these individuals at
all socioeconomic levels, but with particular emphasis on the poor and
the near poor. SSA has identified three priority research areas within
the realm of disability policy on which applicants should focus and
applications will be scored. These areas include:
1. The Interrelationship Between and Potential Impacts on: (1)
Advancements in Technology and Medicine, (2) the Requirements of Work,
(3) the SSDI and SSI Programs; and Persons with Disabilities This
includes, but is not limited to:
Trends in the nature of disability and the composition of
the disabled population (e.g., types of impairments, the extended
reliance of disabled adolescents and adults on disability income
security programs and increases in the volume of disability benefit
awards to younger persons);
Changes in technology, the labor market and the nature of
work; and the potential effects of these changes on work disability in
the future; and
Types of assistance from public programs that could be
made available to persons with disabilities to help them sustain a
maximum level of independence.
2. The Effects of Rehabilitation and Other Support Services on: The
Proportion of Persons With Disabilities Who Continue Working or Reenter
the Workforce, and the Effects on the SSDI and SSI Programs This
includes, but is not limited to:
Relationship of treatment (e.g., improving functioning via
social, vocational, medical treatment; compliance with prescribed
treatment; identifying person who might benefit from appropriate
treatment, etc.) to return-to-work of persons with disabilities.
Employment strategies (e.g., methods of early intervention
for persons with disabilities, providing short-term or interim
disability payments, job accommodations, case management, etc.) that
may influence the work patterns of persons with disabilities;
The interaction of rehabilitation and other support
services (including Vocational Rehabilitation and Unemployment
Insurance Benefits), the effects of individual motivation and the
availability of work on the decisions of persons with disabilities to
maintain employment or to apply for SSDI and SSI benefits; and
Effectiveness of Vocational Rehabilitation (VR) services
(e.g., the best point in time during the course of disability to
provide VR, usefulness and shortcomings of VR in assisting persons with
disabilities to maintain their current job or be retrained for new
work, awareness and utilization of VR services by persons with
disabilities, success of VR relative to disability diagnosis, etc.)
3. The Interaction Between and Impact on: Medical, Functional and
Occupational Factors; and Disability Determinations for Purposes of
Entitlement to SSDI and SSI Benefits This includes, but is not limited
to:
Current and future methods of measuring function and
comparisons between and future functional requirements of work;
Occupational demand constructs to replace the Department
of Labor's Dictionary of Occupational Titles, which is currently used
to measure occupational demands in SSA's disability decision process;
Characteristics of individuals with borderline and severe
mental and physical impairments who work; and
Barriers to employment for persons with mental
impairments.
The Institute will develop and disseminate knowledge about these
and related issues. SSA realizes competent analysis of all priority
research areas may be beyond the capacity of any one Institute and thus
the Institute may wish to focus its resources and expertise on a subset
of the areas listed above. Similarly, the Institute may choose to
concentrate on a few aspects of the priority research areas more
strongly than others. The goal of the Institute is to address a range
of objectives discussed above without compromising the overall quality
of research in the separate priority areas.

B. Cooperative Agreement Responsibilities

1. Institute Responsibilities: The Institute will perform the
following tasks:
a. Research and evaluation The Institute has a primary and lead
responsibility to define objectives and approaches and will be expected
to plan, initiate, and maintain a research program of high caliber. It
must meet the tests of social science rigor and objectivity. The
research will use state-of-the-art research methodology and have
practical application to timely disability policy issues. The program
will strive for respect from the academic and policy communities (over
a broad range of the political spectrum) for its scientific quality,
fairness, and policy relevance.
The research program should include supporting the work of members
of the DRI staff and other affiliated researchers. In addition, it
should provide intellectual leadership in the national research
community by establishing links with a broad range of other scholars
and organizations through programs such as visiting and postdoctoral
appointments, research assistantships, and a limited program of
nonresident grants, for example. Collaboration between the Institute
and SSA researchers is encouraged, as it is with other organizations
interested in disability policy.
The research program should include multi-disciplinary approaches
to increase understanding of the issues beyond what is possible from
analysis within the framework of a single discipline. The staff would
include competency-relevant disciplines such as economics, sociology,
public health policy/administration, demography, physiology,
occupational taxonomy, acturial science, labor management, etc.
Planning and execution of the research program shall always
consider the policy implications of research findings. However, it also
is appropriate, for example, to engage in activities to make advances
in research techniques. SSA will form an internal technical Assistance
Panel (See Part II, SSA Responsibilities) to review and concur with the
research agenda and other DRI products to assure policy relevance,
utility, and scope. In addition, a group of nationally recognized
scholars and practitioners (See Part II, Joint Responsibilities) shall
periodically review the research agenda to assure its policy relevance,
utility, and scope.
Occasionally, Institute staff will be expected to comment on SSA
research

[[Page 55800]]

plans, provide critical commentary on research products, perform
statistical policy analyses, and other quick-response activities to
inform SSA's research, evaluation, and policy analysis function. In
addition, the Institute Director may be asked to aid in the development
of SSA's internal research priorities.
b. Dissemination Making knowledge and information available to the
academic and policy communities, as well as the public (both
beneficiaries and contributors), is to be another integral feature of
the Institute's responsibilities. The DRI will facilitate the process
of translating basic behavioral and social research theories and
findings into practical policy alternatives. The Institute will be
expected to maintain a dissemination system of periodic newsletters,
research papers, academic and/or trade journal articles, and occasional
books. In addition, the Institute will be expected to organize
conferences, workshops, lectures, seminars, and/or other ways of
sharing current research activities and findings. The Institute will
hold a biennial conference on issues related to disability policy. The
Institute will also have the responsibility for publishing a book
composed of papers delivered at the biennial conference.
Applicants are encouraged to propose the use of creative methods of
disseminating data and information, such as using the Internet.
Applications should show sensitivity to alternative dissemination
strategies which may be appropriate for different audiences--such as
policymakers, practitioners, the public, advocates, and academics. The
research and dissemination will be nonpartisan and of value to all
levels of policymaking. SSA reserves the right to review and concur on
all publications created using Institute funding before they are
published.
c. Training and Education The DRI is expected to both train new
scholars and educate academics and practitioners on new techniques and
research findings on issues of disability policy that impact the
economic security of persons with disabilities. The Institute is
expected to develop and expand a diverse corps of scholars/researchers
who focus their analytical skills on research and policy issues central
to the Institute's mission. Training mechanisms should include seminar
series, conferences, graduate courses, and mini-courses to be held in
both Baltimore/Washington D.C. and the DRI site.
The Institute is expected to financially support the development
and work of new scholars. For example, funding should be allocated to
support graduate students, as research assistants and through research
grants; Ph.D. candidates, through dissertation grants; and other
research scholars through post-doctoral and visiting appointments.
Additionally, the Institute will conduct training seminars for
governement analysts and policymakers on the Institute's research
findings and methodological advancements. Training exchanges between
the Institute and government researchers should also be anticipated.
To assure the quality of its research, dissemination, and training,
the Institute must establish and maintain a formal tie with a
university, including links with appropriate departments within that
university. The Institute must have a major presence at a single site
(university or city); however, alternative arrangements among entities
and with individual scholars are encouraged and may be proposed.
d. Facilitation of data usage SSA has been seeking ways to make
administrative and other data more available to the research community.
Such efforts are resource intensive and must adhere to clear privacy
protection requirements. The DRI will work as an external resource to
facilitate this objective. Specific areas in which the DRI should
contribute include: writing papers that further efforts to effectively
combine data sharing and data privacy; developing documentation for
administrative files; aiding researchers in obtaining administrative
extracts for policy-relevant research projects; developing
sophisticated statistical techniques to mask micro data; aiding SSA
staff in developing methodology and policy regarding linkages of
administrative data with outside data sources; and providing, with SSA
assistance, public use files that rely on data aggregates that cannot
be used to identify individuals. In addition, it is SSA's goal to
increase the sites at which outside researchers can use administrative
data.
Without compromising academic freedom, Institute staff will be
expected to comply with special requests for administrative
confidentiality in specific sensitive situations. The Institute shall
make reasonable efforts to provide other researchers appropriate and
speedy access to research data from this project and establish public
use files of data developed under this award.
The institute is expected to work in conjunction with SSA and other
Federal agencies and appropriate organizations to help develop
mechanisms that enable additional sites to satisfy the legal and
privacy requirements for outside researchers, who agree to specific
privacy protections, to be able to access restricted-use data files.
2. SSA Responsibilities: SSA will be involved with the Institute in
jointly establishing broad research priorities, planning strategies,
and deliverable dates to accomplish the objectives of this
announcement. SSA, or its representatives, will provide the following
types of support to the Institute:
a. Consultation and technical assistance in planning, operating and
evaluating the Institute's program activities. SSA intends to form an
internal Technical Assistance Panel that will review and concur with
all of the Institute's submissions/deliverables prior to implementation
and/or publication.
b. Information about SSA programs, policies, and research
priorities.
c. Assistance in identifying SSA information and technical
assistance resources pertinent to the Institute's success.
d. Review of Institute activities and collegial feedback to ensure
that objectives and award conditions are being met.
SSA may suspect or terminate any cooperative agreement in whole or
in part at any time before the date of expiration. Suspension or
termination could occur if the awardee materially fails to comply with
the terms and conditions of the cooperative agreement, if technical
performance requirements are not met, or if the project is no longer
relevant to the Agency. SSA will promptly notify the awardee in writing
of the determination and the reasons for suspension or termination
together with the effective date.
SSA reserves the right to suspend funding for individual projects
in process or in previously approved research areas or tasks after
awards have been granted.
SSA encourages cooperative agreement applicants to become
knowledgeable about SSA's operations as well as entitlements under its
programs. Pamphlets and other public information may be obtained from
any local Social Security field office or by calling 1-800-772-1213.
3. Joint Responsibilities: Jointly with SSA, the Institute will
select approximately six nationally recognized scholars and
practitioner who are unaffiliated with the Institute to provide
assistance in formulating the Institute's research agenda and advice on
implementation. The institute shall select three scholars/practitioners
and SSA will select three scholars/practitioners. Efforts will be made
in

[[Page 55801]]

selecting the scholars/practitioners to assure a range of perspectives,
and a variety of substantive viewpoints. The SSA Project Officer or
some other SSA representative will participate in all meetings. Funded
under this agreement, the scholars/practitioners will meet once or
twice a year rotating between the Baltimore MD/Washington, DC areas,
and the Institute location.

C. Special Requirements

The Institute Director must have a demonstrated capability to
organize, administer, and direct the Institute. The Director will be
responsible for the organization and operation of the Institute and for
communication with SSA on scientific and operational matters. The
Director must also have a minimum time commitment of 30 percent of the
DRI Cooperative Agreement. Racial/ethnic minority individuals, women,
and persons with disabilities should be encouraged to apply as the
Director. A list of previous grants and cooperative agreements held by
the Director shall be submitted. Administrator names and contact
information for each grant and/or cooperative agreement shall also be
submitted.
In addition to the Director, skilled personnel and institutional
resources capable of providing a strong research and evaluation base in
the priority areas specified must be available. The university and
pertinent departments must show a strong commitment to the Institute's
support. Such commitment may be provided as dedicated space, salary
support for investigators or key personnel, dedicated equipment or
other financial support for the proposed Institute.
The Institute should be conceptualized and defined by its
integrative, multi-disciplinary nature and need not be limited to
geographical or departmental boundaries. A research team may consist of
investigators or institutions that are geographical distant, to the
extent that the research design requires and accommodates such
arrangements. Nothing in this announcement precludes non-academic
entities from being affiliated with an applicant.

Part III--Application Preparation and Evaluation Criteria

This part contains information on the preparation of an application
for submission under this announcement, the forms necessary for
submissions and the evaluation criteria under which the applications
will be scored. Potential applicants should read this part carefully in
conjunction with the information provided in Part II.
In general, SAA seeks organizations with demonstrated capacity for
providing quality policy research and evaluation, training, and working
with government policymakers. Applicants should reflect, in the Program
Narrative section of the application, how they will be able to fulfill
the responsibilities and the requirements described in the
announcement. The application should specify in detail how
administrative arrangements will be made to minimize start-up and
transition delays. Applications which do not address all four major
tasks discussed in Institute Responsibilities in Part II will not be
considered for an award.
It is anticipated that the applicant will have access to additional
sources of funding for some projects and arrangements with other
organizations and institutions. Funds from other sources cannot be
applied toward the awardee's matching share of the total approved cost
of the project. The applicant (including the Institute Director and
other key personnel) shall make all current and anticipated related
funding arrangements (including contact information for grant/contract/
cooperative agreement administrators) explicit in an attachment to the
application (Part IV, Section B-12). As part of the annual review
process, this information will be updated and reviewed to limit
duplicitous funding for Institute projects.

A. Content and Organization of Technical Application (See ``Components
of a Complete Application,'' Part IV, Section B)

The application must begin with the required application forms and
a three-page (double-spaced) overview and summary of the application.
Staff resumes should be included in a separate appendix. The core of
the application must contain eight sections, presented in the following
order:
(1) A brief (not more than 10 pages) background analysis of the key
disability policy issues and trends with a focus on the primary
research themes of the proposed Institute. the analysis should discuss
concisely, but comprehensively, important priority research issues and
demonstrate the applicant's grasp of the policy and research
significance of recent and future social, economic, political, and
demographic trends.
(2) A research and evaluation prospectus for a five-year research
agenda, outlining the major research themes to be investigated over the
next five years. In particular, the prospectus will describe the
activities planned for the priority research areas and other additional
research topics proposed by the applicant. The prospectus should
discuss the kind of research activities that are needed to anticipate
future policy debates on SSDI and SSI and the role of the proposed
Institute in promoting those activities. The prospectus should follow
from the Background Analysis section. It may, of course, also discuss
research areas and issues that were not mentioned in the analysis if
the author(s) of the application feel there have been gaps in past
research, or that new factors have begun to affect or soon will begin
to affect national disability policy.
The prospectus shall include detailed descriptions of individual
research projects that will be expected in the Institute's first year
of operation. It also should be specific about long-term research
themes and projects. The areas of research described in the prospectus
should be concrete enough that project descriptions in subsequent
research plan amendments can be viewed as articulating a research theme
discussed in the prospectus. An application that contains simply an ad
hoc categorization of an unstructured set of research projects--as
opposed to a set of projects which strike a coherent theme--will be
judged unfavorably.

Note: Once a successful applicant and the outside scholars/
practitioners have been selected, they and SSA will review the
research agenda and determine research priorities. This may include
the addition, limitation, or removal of proposed research projects.
After review, the Institute will submit to SSA a revised research
plan that summarizes the deliberations and priorities. The research
plan will be periodically reviewed and revised as necessary. The
application should discuss a proposed research planning process,
including involvements of the outside scholars/practitioners, SSA,
and other advisors and participants in the Institute.

(3) A prospectus for dissemination should include proposed
mechanisms for reaching a broad audience of academics and researchers,
policymakers, and the public. Dissemination plans should detail
proposed publications, conferences, workshops, and training seminars.
(4) A prospectus for training and education should include proposed
training and educational strategies to meet the goals described in Part
II, Section A, Task 3.
(5) A prospectus for facilitation of data usage demonstrating a
broad knowledge of administrative data and the legal and institutional
constraints facing public data release. In addition,

[[Page 55802]]

it should include a discussion of the technical expertise of Institute
staff and proposed mechanisms to facilitate the sharing of data.
(6) A staffing and organization proposal for the Institute
including an analysis of the types of background needed among staff
members, the Institute's organizational structure, and linkages with
other organizations. In this section, the applicant should specify how
they will assure a genuinely multi-disciplinary approach to research,
and where appropriate, identify the necessary links to university
departments, other organizations and scholars engaged in research and
government policymaking.
The applicant should identify the Institute Director and key senior
research staff. Full resumes of proposed staff members shall be
included as a separate appendix to the application. The time commitment
to the Institute and other commitments for each proposed staff member
shall be indicated. Note that once the cooperative agreement has been
awarded, changes in key staff will require approval from SSA. The kinds
of administrative and tenure arrangements, if any, the Institute
proposes to make should also be discussed in this section. In addition,
the author(s) of the application and the role which he/she (they) will
play in the proposed Institute must be specified.
This section should discuss the financial arrangements for
supporting research assistants, dissertation fellowships, affiliates,
resident scholars, etc. The discussion should include the expected
number and type of scholars to be supported and the level of support
anticipated.
If the applicant envisions an arrangement of several universities
or entities, this section should describe the specifics about the
relationships, including leadership, management, and administration.
They should pay particular attention to discussing how a focal point
for research, teaching, and scholarship will be maintained given the
arrangement proposed.
The application should also discuss the role, selection procedure,
and expected contribution of the outside scholars/practitioners (See
Part II, Joint Responsibilities).
(7) An organizational experience summary of past work at the
university or institution proposed as the location (or the host) of the
Institute that relates directly or indirectly to the research
priorities of this request. This discussion should include more than a
listing of the individual projects completed by the individuals who are
included in the application. It should provide a sense of institutional
commitment to policy research on issues involving disability policy.
Where specific individuals are proposed for the staff of the Institute,
it is legitimate to discuss their past research, whether or not it took
place at the institution proposed to be the location the Institute. The
application must list in an appendix appropriate recent or current
research projects, with a brief research summary, contact person
references, and address and telephone numbers of references.
This section should also discuss the experience of the research
staff in working with the government agencies and their demonstrated
capacity to provide policy-relevant support to these agencies.
(8) A budget narrative which links the research, training,
dissemination, and data-facilitation program to the Institute's funding
level. The budget should, to the degree possible offer separate cost
estimates for the individual research areas and projects proposed in
the research prospectus. Funding should also be allocated to address
occasional SSA requested activities (described in Part II, Section B-
1). This section should also discuss how the five-year budget supports
proposed research, training, dissemination, and data-facilitation
activities and should link the first year of funding to a five-year
plan. The discussion should include the appropriateness of the level
and distribution of funds to the successful completion of the research,
training, and dissemination plans.
The availability, potential availability or expectation of other
funds (from the host university, other universities, foundations, other
Federal agencies etc.) and the uses to which they would be put, should
be documented in this section. When additional funding is contemplated,
applicants shall note whether the funding is being donated by the host
institution, is in-hand from another funding source, or will be applied
for from another funding source. Formal commitments for the 5 percent,
non-federal, minimum budget share should be highlighted in this
section.
Seeking additional support from other sources is encouraged.
However, funds pertaining to this announcement must not directly
duplicate those received from other funding sources.

B. Review Process and Funding

In addition to any other reviews, an independent review panel
consisting of approximately eight qualified persons will be formed.
Each panelist will objectively review and score the cooperative
agreement applications using the evaluation criteria listed in Part
III, Section C below. The panel will recommend to SSA a Disability
Research Institute based on (1) the application scores; (2) the
feasibility and adequacy of the project plan and methodology; and (3)
how the Institute would meet SSA's disability policy-relevant
objectives.
The Commissioner of Social Security will consider the panel's
recommendations when awarding the cooperative agreement. Although the
results from the independent panel reviews are the primary factor used
in making funding decisions, they are not the sole basis for making
awards. The Commissioner will consider other factors as well (such as
duplication of internal and external research efforts) when making
funding decisions. All applicants must use the guidelines provided in
the SSA application kit for preparing applications requesting funding
under this cooperative agreement announcement. These guidelines
describe the minimum amount of required project information. However,
when completing Part III--Program Narrative, Form SSA-96-BK, please
follow the guidelines under Part III, Section A, above. Please
disregard the Program Narrative instructions provided on pages 3, 4,
and 5 of the SSA Federal Assistance Application Form SSA-96-BK.
All awardees must adhere to SSA's Privacy and Confidentiality
Regulations (20 CFR, part 401) as well as provide specific safeguards
surrounding client information sharing, paper/computer records/data,
and other issues potentially arising from administrative data.
SSA reserves the option to discuss applications with other Federal
or State staff, specialists, knowledgeable persons, and the general
public. Comments from these sources, along with those of the reviewers,
will be kept from inappropriate disclosure and may be considered in
making an award decision.

C. Selection Process and Evaluation Criteria

The evaluation criteria correspond to the outline for the
development of the Program Narrative Statement of the application
described in Part III, Section A, above. The application should be
prepared in the format indicated by the outline described in The
Components of a Complete Application (i.e., Part IV, Section B).

[[Page 55803]]

Selection of the successful applicant will be based on the
technical and financial criteria laid out in this announcement.
Reviewers will determine the strengths and weaknesses of each
application in terms of the evaluation criteria listed below.
The point value following each criterion heading indicates the
maximum numerical relative weight that each section will be given in
the review process. An unacceptable rating on any individual criterion
may render the application unacceptable. Consequently, applicants
should take care that all criteria are fully addressed in the
applications. Applications will be reviewed as follows:
(a) Quality of the background analysis. (See Part III, Section A-1)
(10 points)
Applications will be judged on whether they provide a thoughtful
and coherent discussion of political, economic, social, demographic,
medical and health-related trends influencing disability. Reviewers
will judge applicants' abilities to discuss the past, present, and
future role of government programs and policies which affect these
trends. Applications should tie the trends and influences discussed to
their proposed research agenda.
(b) Quality of the research and evaluation prospectus. (See Part
III, Section A-2) (30 points)
Reviewers will judge this section on whether the research agenda is
scientifically sound and policy relevant. They also will consider
whether the applicant is likely to produce significant/seminal
contributions to their proposed research areas and how closely the
proposed projects fit the objectives for which the applications were
solicited.
The application will be judged on the breadth and depth of the
applicant's commitment to research and evaluation of the priority areas
described in Part II, Section A. The discussion and research proposed
must address at least one priority research area. Applicants will
generally receive higher scores for addressing more than one priority
research area. However, a strong proposal focusing on one area will
outscore one that is broad and weakly defined. Applicants with
additional insightful research proposals will also score higher.
Concise plans for research projects in the near term (one or two years)
as well as a five-year agenda are important.
Reviewers will rate applications on the contents of the plans to
conduct policy-relevant research. In addition, they will be judged on
their relevance to government activities. Reviewers will also take into
consideration SSA priorities and funded or anticipated projects.
(c) Dissemination; training and education; and facilitation of data
usage. (See Part III, Section A-3, A-4, A-5) (20 points)
Reviewers will evaluate strategies for dissemination of research
and other related information to a broad and disparate set of academic,
research, and policy communities as well as to the public. Reviewers
will also evaluate whether the appropriate dissemination method is
being proposed for targeted audiences of academics and researchers,
policymakers, and the public. Proposed strategies that increase
dissemination across other organizations conducting disability income
research will also receive higher ratings.
The evaluation of the training and evaluation prospectus will
include an assessment of plans to enhance the training of graduate
students and young scholars through direct financial support as well as
exposure to policy research. In addition, reviewers will evaluate
proposed strategies for educating and training policymakers and
practitioners on issues of disability.
The scoring of the prospectus for facilitation of data usage will
include a review of the activities planned as well as staff and
management expertise and experience. Applicants should also demonstrate
an understanding of the legal and institutional constraints involved
with SSA administrative, earnings, and tax data.
(d) Quality of the staffing proposal and proposed organizational
arrangements. (See Part III, Section A-6 and A-7) (30 points)
Reviewers will judge the applicant's Institute Director and staff
on research experience, demonstrated research skills, administrative
skills, public administration experience, and relevant policy-making
skills. An additional criterion will be the Institute's demonstrated
potential to act as a conduit between basic and applied behavioral and
social science research and policy analysis/evaluation. Both the
evidence of past involvement in related research and the specific plans
for seeking applied outcomes described in the application shall be
considered part of that potential. Reviewers may consider reference
from grant/cooperative agreement administrators on previous grants and
cooperative agreements held by the proposed Institute Director or other
key personnel. Director and staff time commitments to the Institute
also will be a factor in evaluation. Whether the applicant can maintain
a single location for research, teaching, and scholarship is an
important consideration. Reviewers will evaluate the affiliations of
proposed key personnel to ensure the required multi-disciplinary nature
of the Institute is being fulfilled. Higher scores will generally be
given to those institutions which include active participation by a
multi-disciplinary research staff. Furthermore, reviewers will rate the
applicant's pledge and ability to work in collaboration with other
scholars and government employees in search of similar goals.
Applicants will be judged on the nature and extent of the
organizational support for research, mentoring scholars, dissemination,
facilitation of data usage, and in areas related to the institution's
central priorities and this request. Reviewers will evaluate the
commitment of the host institution (and the proposed institutional unit
that will contain the Institute) to assess its ability to support all
four of the Institute's major activities: (1) Scholarly, policy-
relevant research; (2) dissemination; (3) education and training; and
(4) facilitation of data usage. Reviewers also will evaluate the
applicant's demonstrated capacity to work with a range of government
agencies.
(e) Appropriations of the budget to carry out the planned staffing
and activities. (See Part III, Section A-8) (10 points)
Reviewers will consider whether (1) the budget assures an efficient
and effective allocation of funds to achieve the objectives of this
announcement, and (2) the applicant has additional funding from other
sources, in particular, the host institution. Applications that show
funding from other sources that supplement funds for this cooperative
agreement will be given higher marks than those without financial
support.

Part IV--Application Forms, Completion and Submission

A. Availability of Application Forms

To obtain an application kit that contains the prescribed forms for
funding projects under this announcement, all requests should be
submitted via mail, fax, or e-mail. MAIL: Grants Management Team,
Office of Acquisition and Grants, Social Security Administration, 1-E-4
Gwynn Oak Building, 1710 Gwynn Oak Avenue, Baltimore, Maryland 21207-
5279. FAX: (410) 966-9310 or (410) 966-1261. E-MAIL: [email protected]
or [email protected] or [email protected].
Requests submitted by mail should include a return address label.
To assist

[[Page 55804]]

us, please provide the information requested using the following
format:

Requestor:
Name:
Telephone Number:

Mail to:
Name (individual):
Organization:
Street Address:
City State Zip Code:

When requesting an application kit, the applicant should refer to
the program announcement number SSA-ORES-00-1 and the date of this
announcement to ensure receipt of the proper application kit.

B. Components of a Complete Application

A complete application package consists of one original, signed and
dated application, plus at least two copies, which include the
following items in order:

1. Cover Sheet;
2. Project Abstract/Summary (not to exceed three pages);
3. Table of Contents;
4. Part I (Face Sheet)--Application for Federal Assistance (Standard
Form 424);
5. Part II--Budget Information--Sections A through G (Form SSA-96-BK);
6. Budget Justification (Details) for Section B--Budget Categories;
7. Proof of non-profit status, if applicable;
8. Copy of the applicant's approved indirect cost rate agreement, if
appropriate;
9. Part III--Project (Program) Narrative. Please disregard instructions
provided on pages 3, 4, and 5 of the SSA Federal Assistance Application
Form SSA-96-BK. The program narrative should be organized in eight
sections:
(a) Background Analysis,
(b) Research and Evaluation Prospectus,
(c) Dissemination Prospectus,
(d) Training and Education Prospectus,
(e) Facilitation of Data Usage Prospectus,
(f) Staffing Proposal Including Staff Utilization and Staff
Background,
(g) Organizational Experience Summary, and
(h) Budget Narrative.
10. Part IV--Assurances;
11. Additional Assurances/Certifications;
12. Any appendences/attachments; and
13. Supplement to Section II--Key Personnel.

Staple each copy of the application securely (front and back if
necessary) in the upper left corner. Please do not use or include
separate covers, binders, clips, tabs, plastic inserts, books,
brochures, videos, or any other items that cannot be readily
photocopied.

C. Application Submission

There guidelines should be followed in submitting applications:

--All applications requesting SSA funds for cooperative agreement
projects under this announcement must be submitted on the standard
forms provided in the application kit. NOTE: Facsimile copies will not
be accepted.
--The application shall be executed by an individual authorized to act
for the applicant organization and to assume for the applicant
organization the obligations imposed by the terms and conditions of the
cooperative agreement award.
--Number of copies: The package should contain one original, signed and
dated application plus at least two copies. Ten additional copies are
optional and will expedite processing of the application. A disk copy
of the Abstract and the Program Narrative (in Word 97 format) would
also be helpful to SSA, but is optional.
--Length: Applications should be brief and concise as possible, but
assure successful communication of the applicant's proposal to the
reviewers. The Project Narrative portion of the application (Part III)
may not exceed 150 double spaced pages (excluding the resume and
outside funding appendices), typewritten on one side using standard
(8\1/2\'' x 11'') size paper and 12 point font. Attachments that
support the project narrative count within the 150 page limit.
Attachments not applicable to the project narrative do not count toward
this page limit.
--Attachments/Appendices, when included, should be used only to provide
supporting documentation. Brochures, videos, etc., should not be
included because they are not easily reproduced and are therefore
inaccessible to reviewers.
--In item 11 of the Face Sheet (SF 424), the applicant must clearly
indicate the application submitted is in response to this announcement
(SSA-ORES-00-1). The applicant also is encouraged to select a short
descriptive project title.
--On all applications developed jointly by more than one organization,
the application must identify only one university as the lead
organization and the official applicant. The other(s) can be included
as co-participants, subgrantees or subcontractors.

Applications must be mailed or hand delivered to: Grants Management
Team, Office of Acquisition and Grants, DCFAM, Social Security
Administration, Attention: SSA-ORES-00-1, 1-E-4 Gwynn Oak Building,
1710 Gwynn Oak Avenue, Baltimore, MD 21207-5279.
Hand-delivered applications are accepted between the hours of 8
a.m. and 5 p.m., Eastern Standard Time, Monday through Friday. An
application will be considered as meeting the deadline if it is either:
1. Received at the above address on or before the deadline date; or
2. Mailed through the U.S. Postal Service or sent by commercial
carrier on or before the deadline date and received in time to be
considered during the competitive review and evaluation process.
Packages must be postmarked by January 12, 2000. Applicants are
cautioned to request a legibly dated U.S. Postal Service postmark or to
obtain a legibly dated receipt from a commercial carrier as evidence of
timely mailing.
Applications that do not meet the above criteria are considered
late applications. SSA will not waive or extend the deadline for any
applicant unless the deadline is waived or extended for all applicants.
SSA will notify each late applicant that its application will not be
considered.

D. Notification

SSA will use Form SSA-3966 PC (a double postcard) to acknowledge
receipt of application forms. Please complete the top and bottom parts
of the double postcard, which is included in the application kit, and,
on the franked side of the postcard, enter the name and address of the
person to whom the acknowledgment is to be sent. Include Form SSA-3966
PC with the original copy of the application forms. If you do not
receive acknowledgment of your application within eight weeks after the
deadline date, please notify SSA.

Paperwork Reduction Act

This notice contains reporting requirements. However, the
information is collected using a Federal Assistance Application Form
SSA-96-BK, which has the Office of Management and Budget clearance
number 0960-0184.

Executive Order 12372 and 12416--Intergovernmental Review of
Federal Programs

This program is not covered by the requirements of Executive Order
12372, as amended by Executive Order 12416, relating to the Federal
policy for consulting with State and local elected

[[Page 55805]]

officials on proposed Federal financial assistance.

(Catalog of Federal Domestic Assistance: Program No. 96.007, Social
Security--Research and Demonstration)
Kenneth S. Apfel,
Commissioner of Social Security.
[FR Doc. 99-26676 Filed 10-13-99; 8:45 am]
BILLING CODE 4190-29-M

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A99-26676. Public record. Not legal advice.